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Location All
Job number JO-200716-221850

Job description

Client Servicing/Compliance Administrator (3 months contract/convertible perm)

* Specialist investment firm
* Digital advisory platform
* Dynamic work culture

Our Client:

Our client is a well-known investment firm with considerable client assets under supervision and extensive expertise in financial services. The role supports two teams - Client Servicing and Compliance.

The Responsibilities:

Client Servicing

Your responsibilities will be to operate the firm's digital advisory platform and work closely with and support relationship managers, including such tasks as:

* Administer and manage the timely onboarding of new clients to the firm and their custodian including client interaction and verification, ensuring all documentation is in place and correct KYC procedures are followed
* Monitor client trading activity, specifically orders and executed trades and ensuring that trade settlement is smooth and with good value
* Operate the back-office function
* General client relationship management
* Participate in business development and sales demonstrations
* Provide cover and assistance to other support staff when generating customized client blotters for subset of clients (non-digital wealth management)
* Prepare reports, specifically risk reports, for the team if required
* Share in general office operations including front of house duties


* Assist on and coordinate some aspects of the compliance monitoring program
* Conduct compliance related tasks e.g. maintain and update regulatory registers etc
* Assist in client on-boarding including KYC/AML requirements and Due-Diligence
* Conduct client transaction monitoring in line with established procedures
* Track and monitor periodic client review processes
* Manage online training system, roll out training for new staff

The Requirements:

* Bachelor's degree in Banking & Finance or equivalent
* Candidates could ideally have 2-3 years previous experience in financial services
* PC user knowledge (Word and Excel proficiency)
* Prior knowledge of investment products beneficial
* Highly organised & able to cope with multiple tasks under pressure
* Excellent communication skills necessary for speaking with clients
* Proactive, with a high standard of finishing & work ethic

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